2019063790901 Sean Michael Refsnider CRD 4762963 AWC sl (2020-1590797968791).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement,
Complainant,
v.
Sean Michael Refsnider
(CRD No. 4762963),
Respondent.
Disciplinary Proceeding No. 2019063790901
Hearing Officer:
COMPLAINT
The Department of Enforcement (“Enforcement”) alleges:
SUMMARY
1. From July 2019 through August 2019 (the “Relevant Period”), while associated
with Ameriprise Financial Services, Inc. (“Ameriprise” or the “Firm”), Sean Michael Refsnider (“Refsnider”) converted approximately $42,000
2018060228201 Kestra Investment Services, LLC CRD 42046 AWC sl (2020-1590797967174).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2018060228201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kestra Investment Services, LLC, Respondent
Member Firm CRD No. 42046
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Kestra Investment Services, LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
FINRA Gateway Webinar
Learn about FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is the next generation of Firm Gateway, and is designed to streamline compliance and reporting by providing a more flexible solution that can be customized to hone in on each user’s role and priorities in the firm.
Technical NoticeIntroduction to Transparency Services Initiatives and Webpage
April 28, 2020
In an effort to communicate technical changes to its trade reporting and quotation facilities - TRACE, ORF, and ADF (and related systems) with FINRA member firms, FINRA is introducing a new web page, on FINRA.org, where firms may review upcoming market transparency initiatives. This page will be updated on a regular basis in addition to technical notices that will continue to be posted and distributed via email to subscribing firms.
2019062489101 James Kennedy CRD 1527660 AWC sl (2020-1590711566505).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2019062489101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: James Kennedy, Respondent
Former Registered Representative CRD No. 1527660
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent James Kennedy submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019064884502 Gustavo Trujillo Franco CRD 6793684 Complaint jlg (2020-1590625169892).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gustavo Trujillo Franco (CRD No. 6793684), Respondent. Disciplinary Proceeding No. 201906488450 COMPLAINT Department of Enforcement alleges: SUMMARY 1. On November 18, 2019, and December 16, 2019, Gustavo Trujillo Franco failed to appear for testimony under oath that FINRA’s Department of Member Supervision (“Member
Supervision”) had requested